- GUIDELINES ON FILING SYSTEM, NOTING AND DRAFTING
(As circulated vide NCDC/14-13/80-Admn dated 3.9.1980)
FILING SYSTEM
1.Constituents of a file
Two main parts of a file are (a) ‘Notes’ and (b) ‘Correspondence’, each one of which is placed in a separate cover. The former contains notes recorded on a “Paper under Consideration” and “Fresh Receipt”, if any. The “Correspondence” contains all communications received and office copies of out-going communications.
When the ‘Notes’ or the ‘correspondence’ portion of a filebecomes bulky (say exceeds about 100 pages on note sideand 200 pages on correspondence side), it should be bound and marked ‘Volume I’. Further action on the subject will be continued on a new volume of the same file, both the covers of which will be marked ‘Volume II’ and so on.
2.Numbering of pages
Every pageineachpart of the file should beconsecutivelynumbered in series in black pencil. Blank intervening pages, if any, should not be numbered.
3.Punching of papers
Every paper shall be punched at the left-hand topcorner to the correctgaugebefore it is tagged to the correspondence or notes.
4.Serial Numbers
Every communication, whether receiptor issue, together with its enclosures, keptin the “Correspondence willbe given a serialnumber in red ink or red pencil on its first page, preferably on the righttop corner. The first communication will be marked, “Serial Number 1”and the subsequent ones will bear consecutive serial numbers in a single series.
5.Docketing
(i)Docketing is the process of making entries in the “Notes” portion of a fileabouteachSerialNumber (Receipt or Issue) in the “Correspondence” for its identificationand reproducing the instructions/ observations recordedby the seniorofficers on receipts. A communication will be docketed by writing in red inkacross the page its serial number i.e. “S.No.4 (Receipt)”, “S.No.5 (Issue)”.
(ii)The name of the Corporationand the Division and the subject of the filewillbe given on the top of the firstpage of the “Notes” before docketing the first serial.
6.Opening andnumbering of a new file
(i)EachDivisionwillmaintain an approvedlist of main subjects (known as ‘standard heads’) bearingconsecutiveserial numbers. The list will be scrutinised and brought up-to-date at the beginning of every calendar year. As far as possible, ‘standard heads’ will be allotted the same numbers year after year. A new head may be added to the list or a redundant head be deleted with the approval of the Assistant Director during the course of the year, if found necessary. The number of standard heads should neither be unduly too many nor too few. There would be in a section about 8 to 15 standard heads normally.
(ii)When it is necessarytoopen a new file, the dealinghand (Programme Officer/ Assistant/ UDC etc.) willfirst ascertain the “standard head” under which it should be opened. He will then prepare a suitable title and allot it a serial number under the standard head after consulting the File Register. There are occasions when a file is “closed” and “recorded” on a subject or case. At times there is a reopening of the case. Then a new file is opened under the relevant standard “heading”. At the time of opening the new file proper linking of the old and new files should be ensured by giving “previous ref.” file No. on the new file, and “later Ref.” No. on the old file on the front page of the file covers at appropriate places marked for the purpose.
(iii)The number given to the filewillconsist of (a) the number allotted to the standard head; (b) the serial number of the file under the standard head; (c) the year in which opened; and (d) an abbreviatedsymbol identifying the Division. Thus, files opened in the Coordination division of the NCDC during the year 1980 under the standard head 3 will be numbered NCDC.3/1/80-Coordn., NCDC.3/2/80-Coordn. and so on.
(iv)In the event of re-organisation or re-distribution of the functions of two or moreDivisions, no attempt should bemadeby the Division taking over the records of another Division to divide, re-classify or renumber the files already closed and/or recorded. In the case of current files, however, that division should try to close them as early as possible and open new files according to its own scheme of classification.
7.Part File
(i)A partfilemaybe opened only when the main file is notlikelyto be availableforsometime or when it is desired to consultother divisions or officers simultaneously and it is necessary for them to see the “Paper Under Consideration” and other connected papers.
(ii)A partfilewillnormallyconsist of -
(a)the original “Paper Under Consideration” or its copyandotheressential papers on the “Correspondence side” ; and
(b)the notes relating thereto.
(iii)A partfile should beincorporated with the main file assoon as the latterbecomes available, duplicate papers, ifany, being removed.
(iv)When more than one partfile is opened each one of them should be given a distinct number, thus 3/1/80-Coord. (Part file I), 3/1/80-Coordn. (Part file II).
8.File Register
A record of files opened during a calendar yearwillbekept in a File Register. As soon as the new file is opened, the dealing hand will enter the details in the File Register.
9.Routine notesor papers
Notesorcasual discussions on points of secondary importance, routinecorrespondencelike reminders, acknowledgements, etc., and notes intendedtoelucidateminor points of detail which are of an ephemeralnature should not be allowed to clutter up the main file. They should be treated as “routine” papers and placed below the file in a separate cover and destroyed when they have served their purpose. Such routine portion of the file and other loose papers should however be removed and kept by the dealing hand while moving the file upwards.
10.Filing of official, demi-official and un-official communications
(i)Officialand demi-official communications :
Allofficialand demi-official communicationswillbeincluded in the “correspondence” portion of a file.
(ii)Inter-Divisional Notes
Self-contained references and replies thereto should beincluded in the correspondenceportion of the file. Inter-Divisional references which are to be returned in original will be noted upon without their being brought on to a file. A copy on a summary of the inter-divisional reference, together with a copy of the note recorded on the file of the originating Division in reply, should be retained, when necessary, and placed in the “Notes” part of the file.
11.Referencing anduse of slips
(i)Referencing is the process of putting up and referring toconnected records, precedents, rules, regulations, books or anyotherpaper having bearing on a case. Such papers will be flagged with alphabetical slips to facilitate their identification.
(ii)The slipwillbepinned neatly on the inside of the page. When a number of files or papers on the same case are to be flagged, the slips should be spread over the whole width of the file so that every slip is easily visible.
(iii)The slip ‘PUC’ should beattachedto the paper the consideration of which is the subjectmatter of the file. The latest communication which is to be considered in relation to the subject should be flagged “Fresh Receipt”.
(iv)No slipother than PUC or FR willbeattachedtoanypaperon a current file. Reference to them will be made by quoting the number of the page in the margin in pencil.
(v)Not more than one alphabetical slip should be attachedto a recordedfile or paperput upfor reference. Other references in the linked file be quoted by indicating the page number in pencil in the margin of the note.
(vi)It should be remembered that the slips are merely a temporaryconveniencefor the quickidentification of papers and should be removedassoon as theyhave served their purpose. To facilitate the identification of references after the removal of slips, it is necessary that the number of the file referred to should be quoted in the body of note and the number of the relevant page together with the letter of the slip attachedthereto indicated in the margin, thus:-
In the body of the notesIn the margin of note
F.No.9/1/80-Coord.Flag G-p.3/Notes
Similarly, a description of the Rules, Regulations, Acts, etc., together with the number of the relevantparagraphorclausereferred to willalways be quoted in the body of the note while in the margin will be indicated in the alphabetical letters of the slipand the page number.
(vii)Books orrules etc., referredto, neednotbeput upon a fileif copies thereof are available with officers to whom a case is submitted. This should, however, be indicated in the margin of the notes in pencil as ‘not put up’.
12.Linking of files
Linking of files on which action is in progress will, asfar as possible, be avoided. As a general rule this will be resorted to only when the files are inter-connected and orders have to be passed on them simultaneously. If any paper on a current file is required for reference only in connection with the disposal of another current case, relevant extracts should be taken from the former and placed on the later.
When files are linked, strings of the file board of the lower file butnot its flaps willbe tied round the upper file. The strings of the file board or flap of the upper file will be tied underneath it in a bow out of the way. Each file will thus be intact with all its papers properly arranged on its file board.
- Urgency-grading of files
(i)The two authorised urgency gradings are “Immediate” and “Priority”.
(ii)The label “IMMEDIATE” should be used onlyincases of extraordinaryurgency requiring instant attention. Routine matters like grant of leave/ leave travel concession, passing of bill etc. should Not be marked “Immediate”.
(iii)The label “PRIORITY” should be used on papers which should be given precedenceover others of ordinarynatureto which no priority labels havebeen attached.
(iv)Urgency gradings, should be used discriminatingly. Officers through whom files pass, should keep an eye on the propriety of the priority marking affixed to them and revise or remove them if necessary.
- Arrangement of papers on a case
A case consists of a currentfileandanyother files and papers, books etc., put upfor reference. The papers on a current case will be placed in the following order from top downwards:
(i)Reference books, if any.
(ii)“Notes” ending with the note for consideration.
(iii)Draft or drafts for approval.
(iv)“Correspondence” containing the “P.U.C.” and “F.R.” if necessary.
(v)Standing Guard file.
(vi)Otherpaperreferredto (e.g. extracts fromnotesorcorrespondence of other files, resolutions, gazettes, etc.) arranged inchronologicalorder, the latest being placed on top.
(vii)Recorded files arranged inchronological order, the latest being placed on the top.
(viii)Routine notesor papers placed in a cover in chronologicalorder.
Action on Receipts
1.Initial examination of receipts by dealing hand
(i)Soonafter the receipts are madeoverto him, the dealing handwillread them one by one and sort them outaccording to priority. “Immediate” and “Priority” receipts will be taken up first, care being taken at the same time that ordinary receipts are not left unattended to for an unduly long period.
(ii)The dealing handwillcheck the enclosures and ifany is foundincompleteormissing, he will bring the factto the notice of the AssistantDirector and also suggest suitable actionfor obtaining the missing papers.
(iii)IfanyotherDivisionor Divisions are concerned with any part or aspect of a receipt the dealinghandwillsendrelevant extracts through the AssistantDirector to the Division or Divisions concerned for remarks or necessaryaction.
2.Collection of relevantmaterial
The stage of actionbyoffice is tocollectthe materialrequiredfor taking action on a receipt. This will ordinarily consist of (a) the file on the subject if one already exists (b) other files or papers, if any, referred to in the receipt, and (c) any other necessary material.
- Bringing receipton a file
The receiptwillbe brought onto a currentfileif it relates to a subject on which a file already exists, if not, it will be necessary to open a new file for initiating action on the receipt. The receipt will then be docketed and referenced.
- Notes
(i)‘Notes’ are the written remarks recordedon a paperunderconsiderationto facilitate its disposal. They may consist of a précis of previous papers, a statement or an analysis of the question or questions requiring decision, suggestions as to the course of actionand orders passed thereon.
(ii)The dealing hand should appendhisinitials with the dateon the leftbelow his note. The Assistant Director shall also like-wise put his dated signature on the right hand side of the note of the dealing hand.
(iii)In recording the date with the initials or signatures appendedto notes, the monthand the year should alsobeindicated alongwith the date.
5.Scope andpurpose of notingbyoffice
When the line of action on a receipt is obviousor is based on a clearprecedent or practice or has been indicatedby the DivisionalHead in the directions given by him on a receipt, a draft reply, where necessary, should be put upforapproval without much noting. In other cases office will put up a note. There should be minimum of noting as far as possible so as to present the case in a concise, precise and appropriate manner for obtaining a decision on the case. The purpose of noting is not merely to make a summary of the case or the F.R. while in important and complicated cases the office note should deal with the case history adequately and correctly, the note should attempt mainly to raise the relevant issue for consideration and decision. This is really the main purpose of noting. In such cases the notes will naturally have to be analytical and critical rather than being elaborate and descriptive in character. Notes should, therefore, be prepared with great care, perspicuity and ability. Each para of the noting should be numbered. It will be the duty of the officer:
i)to see whether all the facts so farasthey are open to check, are correct;
ii)to pointoutany mistakes or mis-statements of facts;
iii)todraw attention, where necessary, to the statutory or customaryprocedureand to pointout the law and rules and where they are to be found;
iv)tosupplyotherrelevantfactsandfiguresavailablein the office and to put up the StandingGuard File, on the subject, if any, or other papers containing precedents or previous decisions of policy;
v)tostate the questionor questions forconsiderationand to bringoutclearly the points requiring decision; and
vi)to suggest a course of action with possiblealternatives wherever necessary.
6.Action byAssistant Director
i)Assistant Directorwillscrutinize the note of dealing hand, addhisown remarks or suggestions where necessary and submit the case to the Divisional Head or higher officer.
ii)Assistant Directors are authorizedandexpectedindependently to takeaction of the following nature:
a)intermediate routineaction on all cases e.g., issuing reminder, acknowledgement, etc.
b)finaldisposal of routine cases e.g. those in which factualinformation of a non- confidentialnature has tobe called for from, or to be supplied to a Ministry/ Division; and
c)anyotheraction which by a generalorspecificofficeorder an AssistantDirector is authorised to take independently.
7.Noting byDeputy Director/Director
i)Deputy Director/Director willdispose of asmany cases as possibleonhisownresponsibilitybut will take the orders of Chief Director or higher officers on cases of an importantnature or those involving questions of policy. He should endeavour to reduce the number of cases to be submitted formally to the General Manager/Chief Director by taking his verbal directions.
ii)Where he has topassorders or to make recommendations for the consideration of higher officers, he willconfinehisnote to the actual points that should be dealt with byhim without attempting to reiterate the groundalreadycovered in the previousnotes. When he agrees with the recommendations made in the preceding note, he will merely append his signature.
8.Notes and orders byChief Director
Chief Director will, ordinarily, dispose of majority of cases coming upto himonhisown responsibility. He should use his discretion in taking orders of the General Manager/Managing Director on the more important cases, whether orally or by submission of papers. The oral method should be adopted as far as possible.
9.Running Summary of Facts
(a)To facilitate considerationand to obviaterepeated recapitulation, a “running summary of facts” should beprepared and placed on the file on a separate folder, labelled accordingly, in everycase in which it is evident that such a summary would contribute to its speedy disposal.
(b)It willbe the duty of the AssistantDirectorand the Dy.Director/Director to see –
(i)that a summary is prepared at the earliest appropriate stageinall suitable cases, e.g., those having a complicated history relating to individualinstitutions or transactions; and
(ii)that the summary is kept up-to-date by making suitable additionsasfurtherfactual developments, if any, occur.
(c)Opinions of individualofficers should notbeincorporated in the summary. However, when a case is referred to another Ministry/Office/Division for advice or concurrence, the advice or views of the Ministry/Office/Division consulted should be treated as constituting a material part of the facts of the case and added to the summary.
10.Summary for the President of General Council/Chairman/Vice-Chairman of Board of Management
Unless a runningsummary is alreadyavailableon the fileor the lastnote on the file will itself serve the purpose, a self-contained summary should beput up with everycases submitted to the President/Chairman/Vice-Chairman. Such summary shallgive all factsrelevant to the case including the views expressed on the subjectby the otherMinistry or Ministries, ifany, consulted in the matterand shall specify the point or points on which the orders of the President/Chairman/Vice-Chairman are required.
11.Interchange of notesbetweenofficers in the N.C.D.C.
Interchange of notesbetweenofficers within the NCDC should be avoided asfar as possible. The purpose can be secured by personal discussion between the officers concerned.
12.Record of verbal discussions, orders and instructions
All points emerging from discussions between two ormoreofficers and the conclusions reached should be recorded on the relevantfileby the officer authorizing action. Similarly, all verbal orders or instructions given by any officer and, where necessary, the circumstances leading to such orders/instructions, should be recorded on the file.
13.Standing Guard File
A StandingGuardfilewillbepreparedforeach suitable `type subject` dealt within a Division. It will consist of three parts, viz -
(i)a runningsummary of the principles andpolicy relating to the subject. The numbers and dates of decisions or orders referred to in the summary will be quoted in margin against each such reference;
(ii)full copies of the decisions ororders referredtobe placed inchronological order;
(iii)model forms tobe used in the issue of orders, notifications, etc.
Whenever anynewdecision is taken on the subject, it willbe suitably incorporated in the relevant parts of the StandingGuard File.
DRAFTING